Developing a CE Needs Analysis and Written Training Plan
This document is designed to assist municipal advisor firms in complying with continuing education (CE) requirements outlined under Rule G-3. The fillable checklist and template is intended to help municipal advisor firms evaluate and prioritize their firm’s specific training needs and develop a plan for delivering appropriate training.

Information for Municipal Advisory ClientsThis document summarizes key principles of MSRB rules that protect municipal advisory clients and provides information on how to file a complaint with the appropriate regulatory authority.

Dealer Compliance Resources

Information on Exemptive Relief under MSRB Rule G-37This page contains information to assist dealers with guidance on the scope and limitations of exemptive relief available under MSRB Rule G-37, including summaries of letters from FINRA that respond to applications for exemption. The letters are intended to help dealers understand the decision to grant or deny exemptive relief.

Information for Municipal Securities InvestorsThis document summarizes key principles of MSRB rules that protect municipal securities investors and provides information on how to file a complaint with the appropriate regulatory authority.

Underwriters: Understanding Duties of Municipal AdvisorsThis document reviews the respective roles and responsibilities of underwriters and municipal advisors, discusses the provision of “inadvertent advice” under Rule G-42 and provides an overview of the rule itself to assist dealers acting as underwriters in understanding the regulatory framework that applies to municipal advisors.